EPA Audit of WIPP QA Program: NWP QA 1-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 1 with Supplement 1S-1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Basic Requirements

1. Are the organizational structure, functional responsibilities, levels of 

authority and lines of communication documented for activities 

affecting quality?

Y WP 13-1, Revision 34, section 1.1, Quality Assurance Program and Organization

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

NWP Management Position description for Assurance Programs Manager

Compensatory Measures Matrix for Phase III Mine Entry

Compensatory Measures Matrix for Phase III Mine Manned Entry

DOE CBFO letter to NWP LLC, dated 4/11/2014, Subject: Required Compensatory 

Measures Plan For Phase II Mine Planned Entry

Inter-Office Correspondence, dated 3/31/2014 with regard to NWP Organizational 

Announcements

Inter-Office Correspondence, dated 4/4/2014 with regard to Contractor Assurance 

System Compensatory Measures

2. Do persons or organizations responsible for performing quality 

assurance functions have sufficient authority, access to work areas 

and organizational freedom to:

 Identify quality problems?

 Initiate, recommend, or provide solutions to quality problems 

through designated channels?

 Verify implementation of solutions?

 Assure that further processing, delivery, installation or use is 

controlled until proper disposition of a nonconformance, 

deficiency or unsatisfactory condition has occurred?

Y WP 13-1, Revision 34, section 1.1.5, Quality Assurance Manager

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

NWP Management Position description for Assurance Programs Manager

Management Assessment Report MA-QA-2013-02

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

3. Do persons or organizations responsible for performing quality 

assurance functions have direct access to responsible management at 

a level where appropriate action can be effected?

Y WP 13-1, Revision 34, section 1.1.5, Quality Assurance Manager 

WP 13-QA.04, Revision 21, section 4.0, QA Program Responsibilities

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

4. Do persons or organizations responsible for performing quality Y WP 13-1, Revision 34, section 1.1.5, Quality Assurance Manager 
EPA Audit of WIPP QA Program: NWP QA 1-2

NQA-1 ELEMENT: No. 1 with Supplement 1S-1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

assurance functions report to a management level that provides the 

required authority and organizational freedom, including sufficient 

independence from cost and schedule considerations?

WP 13-QA.04, Revision 21, section 4.0, QA Program Responsibilities

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

Supplementary Requirements (1S-1)

1. Are the organizational structure and the responsibility assignments 

such that:

 Quality is achieved and maintained by those who have been 

assigned responsibility for performing work?

 Quality achievement is verified by persons or organizations not 

directly responsible for performing the work?

Y WP 13-1, Revision 34, section 1.1.3, Line Management (Section Managers); 1.1.4, 

Employee; 1.1.5, Quality Assurance Manager.

WP 13-QA.04, Revision 21, section 4.0, QA Program Responsibilities.

CCP-PO-002, Revision 27, section 5.1.1, Organization.

NWP Organization Chart, provided 7/23/2014

NWP Management Position description for Assurance Programs Manager

Management Assessment Report MA-QA-2013-02

Management Assessment Schedule for 2014

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

2. Do the individuals or organizations responsible for establishing and 

executing a quality assurance program delegate any or all of the work 

to others, and, if so, do the individuals or organizations retain 

responsibility for the quality assurance program?

Y WP 13-1, Revision 34, section 1.1.6, Delegation of Work

WP 13-QA.04, Revision 21, section 5.0, Interfaces

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP Management Position description for Assurance Programs Manager

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule
EPA Audit of WIPP QA Program: NWP QA 1-3

NQA-1 ELEMENT: No. 1 with Supplement 1S-1, Organization EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

3. Is responsibility for the control of further processing, delivery, 

installation or operation of nonconforming items designated in 

writing?

Y WP 13-1, Revision 34, section 1.3.3, Nonconforming Items; section 1.3.4.3, 

Corrective Action Planning

CCP-PO-002, Revision 27, section 5.1.1, Organization; section 5.3, Quality 

Improvement

CCP-QP-005, Revision 24, section 3.4, Responsible Manager

WP 13-QA3007, Revision 11, External Oversight Activities

WP 15-GM1002, Revision 2, Issues Management, Processing of WIPP Forms

MC 1.7, Revision 6, WIPP Form Screening Committee

DOE Order O 232.2

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

4. Where more than one organization is involved in the execution of 

quality assurance activities, is the responsibility and authority of each 

organization clearly established and documented?

Y WP 13-1, Revision 34, section 1.1.10, Interfaces

WP 13-QA.04, Revision 21, section 5.0, Interfaces

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

5. Are the external interfaces between organizations, as well as the 

internal interfaces between organizational units, documented? Are 

interface responsibilities defined and documented?

Y WP 13-1, Revision 34, section 1.1.10, Interfaces

WP 13-QA.04, Revision 21, section 5.0, Interfaces

CCP-PO-002, Revision 27, section 5.1.1, Organization

NWP Organization Chart, provided 7/23/2014

NWP QA Organization Chart, provided 7/23/2014

*Y: The referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 N: The referenced documents do not adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 N/A: The specific NQA-1-1989 requirement is not applicable to the subject QA program.
EPA Audit of WIPP QA Program: NWP QA 2-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Basic Requirements

1. Is a documented quality assurance program planned, implemented 

and maintained in accordance with NQA-1?

Y WP 13-1, Revision 34, Introduction; section 1.1.8, Establishment and Maintenance of 

Quality Assurance Programs

WP 13-QA.04, Revision 21, Quality Assurance Department Administrative Program

2. Does the quality assurance program identify the activities and items 

to which it applies?

Y WP 13-1, Revision 34, section 1.1.8.2, Applicability

3. Does the quality assurance program provide control over activities 

affecting quality to an extent consistent with their importance?

Y WP 13-1, Revision 34, section 1.1.8.1, Grading Items and Processes and Applying 

Quality Assurance Controls

4. Was the quality assurance program established at the earliest time 

consistent with the schedule for accomplishing the activities?

Y WP 13-1, Revision 34.

WP 13-QA.04, Revision 21, Quality Assurance Department Administrative Program

5. Does the quality assurance program provide for the planning and 

accomplishment of activities affecting quality under suitably 

controlled conditions, which include the use of appropriate 

equipment, suitable environmental conditions for accomplishing the 

activity and assurance that prerequisites for the given activity have 

been satisfied?

Y WP 13-1, Revision 34, section 1.1.12, Planning Work

WP 13-QA.04, Revision 21, section 4.0, QA Program Responsibilities

CCP-PO-002, Revision 27, section 5.1.2, Implementation of the QA Program

6. Does the quality assurance program provide for any special controls, 

processes, test equipment, tools and skills to attain the required 

quality and for verification of quality?

Y WP 13-1, Revision 34, section 1.1.12, Planning Work

WP 13-QA.04, Revision 21, section 3.0, Special Processes

CCP-PO-002, Revision 27, section 5.1.2, Implementation of the QA Program

7. Does the quality assurance program provide for indoctrination and 

training of personnel performing activities affecting quality?

Y WP 13-1, Revision 34, section 1.2, Personnel Qualification and Training.

WP 13-QA.04, Revision 21, section 2.0, Training and Indoctrination.

CCP-PO-002, Revision 27, section 5.2, Personnel Qualification and Training

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

8. Does the management of the organizations implementing the quality 

assurance program regularly assess the adequacy of that part of the 

program for which they are responsible and assure its effective 

implementation?

Y WP 13-1, Revision 34, section 1.1.3, Quality Improvement

WP 13-QA.04, Revision 21, section 7.1, Management Assessments

CCP-PO-002, Revision 27, section 5.10, Management Assessments

Management Assessment Report MA-QA-2013-02
EPA Audit of WIPP QA Program: NWP QA 2-2

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Supplementary Requirements (2S-1)

1. Does the responsible organization designate those activities that 

require qualified inspection and test personnel and minimum 

requirements for such personnel?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, section 3.0, Special Processes

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

2. Has the responsible organization established written procedures for 

the qualification of inspection and test personnel to assure that only 

qualified personnel are permitted to perform inspection and test 

activities?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

CCP-QP-002, Revision 37, CCP Training and Qualification Plan

CCP-QP-030, Revision 9, CCP Written Practice for the Qualification of CCP Helium 

Leak Detection Personnel

CCP-QP-032, Revision 2, CCP Written Practice for the Qualification of CCP 

Pressure Change Leak Testing Personnel

3. Do personnel selected for performing inspection and test activities 

have the experience or training commensurate with the scope, 

complexity or special nature of the activities?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Training

WP 13-QA.06, Revision 9, Quality Assurance Department Qualification and 

Certification of Nondestructive Examination Personnel

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test

Personnel

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

4. Have provisions been made for the indoctrination of personnel 

regarding the technical objectives and requirements of the applicable 

codes and standards and the quality assurance program elements that 

are to be employed?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

WIPP QA Surveillor Authorization Card

5. Has the need for a formal training program been determined? Are 

training activities, including on-the-job training, conducted to qualify 

personnel who perform inspections and tests?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Training

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)
EPA Audit of WIPP QA Program: NWP QA 2-3

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

CCP CY 2013 Surveillance/Assessment Schedule

6. Are the capabilities of a candidate for certification initially 

determined by a suitable evaluation of the candidate’s education, 

experience, training and either test results or capability 

demonstration?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Certification

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

Management Assessment Schedule for 2014

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

7. Is the job performance of inspection and test personnel reevaluated at 

periodic intervals not to exceed three years?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, 

Maintenance of Qualification

CCP-PO-002, Revision 27, section 5.9.1, Qualification of Inspection and Test 

Personnel

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

8. If it is determined at any time that the capabilities of an individual 

are not in accordance with the qualification requirements specified 

for the job, is that person removed from that activity until such time 

as the required capability has been demonstrated?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, 

Maintenance of Qualification

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

9. Is a person reevaluated for a required inspection or test capability if 

activities have not been performed in his or her qualified area for a 

period of one year?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, 

Maintenance of Qualification

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

WIPP QA Surveillor Authorization Card
EPA Audit of WIPP QA Program: NWP QA 2-4

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Lead Auditor Qualification Record (NQA-1-1989)

10. Is the qualification of personnel certified in writing in an appropriate 

form, including:

 Employer’s name?

 Identification of person being certified?

 Activities certified to perform?

 Basis used for certification, including:

– Education, experience, indoctrination and training?

– Test results, where applicable?

– Results of capability demonstration?

 Results of periodic evaluation?

 Results of physical examinations, when required?

 Signature of employer’s designated representative who is 

responsible for such certification?

 Date of certification and date of certification expiration?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Certification

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

11. Has the responsible organization identified any special physical 

characteristics needed in the performance of each activity, including 

the need for initial and subsequent physical examination?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors, Physical 

Examination

CCP-QP-030, Revision 9, CCP Written Practice for the Qualification of CCP Helium 

Leak Detection Personnel

CCP-QP-032, Revision 2, CCP Written Practice for the Qualification of CCP 

Pressure Change Leak Testing Personnel

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

12. Does the employer establish and maintain records of personnel 

qualification?

Y WP 13-1, Revision 34, section 2.4.1.1, Qualification of Inspection and Test Personnel

WP 13-QA.04, Revision 21, Attachment 2, Requirements for Inspectors

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)
EPA Audit of WIPP QA Program: NWP QA 2-5

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Supplementary Requirements (2S-2)

1. Does the quality assurance program provide for the qualification of 

nondestructive examination personnel to the American Society of 

Nondestructive Testing Recommended Practice No. SNT-TC-1A, 

issued June 1980?

Y WP 13-1, Revision 34, section 2.4.1.2, Qualification of Nondestructive Examination 

Personnel

CCP-QP-002, Revision 37, section 5.9.2, Qualification of Nondestructive 

Examination Personnel

CCP NDE Operator Training Records

2. Has the responsible organization established written procedures for 

the control and administration of nondestructive examination 

personnel training, examination and certification?

Y WP 13-1, Revision 34, section 2.4.1.2, Qualification of Nondestructive Examination 

Personnel

WP 13-QA.04, Revision 21, section 3.0, Special Processes

CCP-QP-002, Revision 37, CCP Training and Qualification Plan

CCP-QP-030, Revision 9, CCP Written Practice for the Qualification of CCP Helium 

Leak Detection Personnel

3. Does the employer establish and maintain records of personnel 

qualification?

Y WP 13-1, Revision 34, section 2.4.1.2, Qualification of Nondestructive Examination 

Personnel

WP 13-QA.04, Revision 21, section 2.3, Specific Requirements

CCP-QP-002, Revision 37, section 5.9.2, Qualification of Nondestructive 

Examination Personnel

Supplementary Requirements (2S-3)

1. Has the responsible auditing organization established the 

qualifications for audit personnel and the requirements for the use of 

technical specialists to accomplish the auditing of quality assurance 

programs?

Y WP 13-1, Revision 34, section 3.2.3, Independent Assessment Team Selection; 

section 3.2.4, Assessment Personnel Qualifications

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

2. Is the competence of audit personnel developed by one or more of the 

following methods:

 Orientation to provide a working knowledge and understanding of 

NQA-1 and the auditing organization’s procedures for 

implementing audits and reporting results?

 Training programs to provide general and specialized training in 

audit performance?

 On-the-job training, guidance and counseling under the direct 

Y WP 13-1, Revision 34, section 3.2.4.3, Independent Assessor Qualifications

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)
EPA Audit of WIPP QA Program: NWP QA 2-6

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

supervision of a lead auditor?

3. Does a prospective lead auditor have the capability to communicate 

effectively, both in writing and orally? Has the lead auditor’s 

employer attested to these skills in writing?

Y WP 13-1, Revision 34, section 3.2.4.1.2, Communications Skills

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Communication Skills

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

4. Are prospective lead auditors trained, as necessary, to assure their 

competence in auditing skills, including training in the following 

areas:

 Knowledge and understanding of NQA-1 and other nuclear-related 

codes, standards, regulations and regulatory guides?

 General structure of quality assurance programs as a whole and 

applicable elements as defined by NQA-1?

 Auditing techniques of examining, questioning, evaluating and 

reporting; methods of identifying and following up on corrective 

action items; and closing out audit findings?

 Audit planning in the quality-related functions for the following 

activities: design, purchasing, fabrication, handling, shipping, 

storage, cleaning, erection, installation, inspection, testing, 

statistics, nondestructive examination, maintenance, repair, 

operation, modification of nuclear facilities or associated 

components, and safety aspects of the nuclear facility?

 On-the-job training to include applicable elements of the audit 

program?

Y WP 13-1, Revision 34, section 3.2.4.1.3, Lead Auditor Training

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Training

Lead Auditor Qualification Record (NQA-1-1989)

5. Is a prospective lead auditor required to have participated in a 

minimum of five quality assurance audits within a period of time not 

to exceed three years prior to the date of qualification, one audit of 

which shall be a nuclear quality assurance audit within one year prior 

to qualification?

Y WP 13-1, Revision 34, section 3.2.4.1.4, Audit Participation

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Audit 

Participation

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule
EPA Audit of WIPP QA Program: NWP QA 2-7

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

6. Is a prospective lead auditor required to pass an examination that 

evaluates his or her comprehension of and ability to apply the body 

of knowledge identified under the training requirements (listed under 

question 4 above)?

Y WP 13-1, Revision 34, section 3.2.4.1.5, Lead Auditor Examination

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Examination

Lead Auditor Qualification Record (NQA-1-1989)

7. Do lead auditors maintain their proficiency through one or more of 

the following:

 Regular and active participation in the audit process?

 Review and study of codes, standards, procedures, instructions and 

other documents related to quality assurance program and program 

auditing?

 Participation in training programs?

Y WP 13-1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Proficiency Maintenance

Lead Auditor Qualification Record (NQA-1-1989)

8. Does management conduct documented annual assessments of lead 

auditors to extend their qualification, require retraining or require 

requalification?

Y WP 13-1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Proficiency Maintenance

Lead Auditor Qualification Record (NQA-1-1989)

9. Are lead auditors who fail to maintain their proficiency for a period 

of two years or more required to requalify?

Y WP 13-1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Proficiency Maintenance

Lead Auditor Qualification Record (NQA-1-1989)

10. Is the employer responsible for training auditors? Y WP 13-1, Revision 34, section 1.1.2, Senior Management

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, Training

Lead Auditor Qualification Record (NQA-1-1989)

WIPP QA Surveillor Authorization Card

11. Does the responsible auditing organization select and assign 

personnel who are independent of any direct responsibility for 

performance of the activities that they will audit?

Y WP 13-1, Revision 34, section 3.2.3, Independent Assessment Team Selection

WP 13-QA.03, Revision 22, section 4.3, QA Independent Assessment Planning

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03
EPA Audit of WIPP QA Program: NWP QA 2-8

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

12. Does the lead auditor, prior to commencing the audit, concur that 

assigned audit personnel collectively have experience or training 

commensurate with the scope, complexity or special nature of the 

activities to be audited?

Y WP 13-1, Revision 34, section 3.2.3, Independent Assessment Team Selection

WP 13-QA.03, Revision 22, section 4.3, QA Independent Assessment Planning

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

13. Is the employer responsible for the development and administration 

of the examination for a lead auditor? If the employer delegates this 

activity to an independent certifying agency, does the employer 

retain responsibility for the conformance of the examination and its 

administration to the NQA-1-1989 standard?

Y WP 13-1, Revision 34, section 3.2.4.1.5, Lead Auditor Examination

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Examination

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

14. Does the employer establish and maintain records of personnel 

qualifications for auditors and lead auditors performing audits?

Y WP 13-1, Revision 34, section 1.2, Personnel Qualification and Training; section 

1.2.1, Qualification

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

15. Does the employer certify each lead auditor as being qualified to lead 

audits, including documentation of the following by the certification:

 Employer’s name?

 Lead auditor’s name?

 Date of certification or recertification?

 Basis of qualification (i.e., education, experience, communication 

skills, training, examination, etc.)?

 Signature of employer’s designated representative who is 

responsible for such certification?

Y WP 13-1, Revision 34, section 3.2.4.1.6, Lead Auditor Certification

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Certification

Lead Auditor Qualification Record (NQA-1-1989)

16. Are the records for each lead auditor maintained and updated 

annually?

Y WP 13-1, Revision 34, section 3.2.4.1.7, Lead Auditor Proficiency Maintenance

WP 13-QA.04, Revision 21, Attachment 1, Requirements for Lead Auditors, 

Proficiency Maintenance

Lead Auditor Qualification Record (NQA-1-1989)
EPA Audit of WIPP QA Program: NWP QA 2-9

NQA-1 ELEMENT: No. 2 with Supplements 2S-1, 2S-2, 2S-3 and EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

2S-4, Quality Assurance Program

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Supplementary Requirements (2S-4)

1. Are personnel identified for indoctrination or training? Y WP 13-1, Revision 34, section 1.2.2, Training

WP 13-QA.04, Revision 21 section 2.0, Training and Indoctrination

CCP-PO-002, Revision 27, section 5.2.2, Training Requirements

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

2. Is the extent of indoctrination and training commensurate with the 

following:

 The scope, complexity and nature of the activity?

 The education, experience and proficiency of the person?

Y WP 13-1, Revision 34, section 1.2.2, Training

WP 13-QA.04, Revision 21, section 2.0, Training and Indoctrination

CCP-QP-002, Revision 37, CCP Training and Qualification Plan

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

3. Are personnel indoctrinated in the following subjects as they relate to 

a particular function:

 General criteria, including applicable codes, standards and 

company procedures?

 Applicable quality assurance program elements?

 Job responsibilities and authority?

Y WP 13-1, Revision 34, section 1.2.2, Training

WP 13-QA.04, Revision 21, section 2.2, General Requirements

CCP-QP-002, Revision 37, CCP Training and Qualification Plan

WIPP QA Surveillor Authorization Card

Lead Auditor Qualification Record (NQA-1-1989)

4. Is training provided, if needed, to:

 Achieve initial proficiency?

 Maintain proficiency?

 Adapt to changes in technology, methods or job responsibilities?

Y WP 13-1, Revision 34, section 1.2.2, Training

WP 13-QA.04, Revision 21, section 2.0, Training and Indoctrination

CCP-QP-002, Revision 37, section 3.1, Site Project Manager [Responsibilities]

Lead Auditor Qualification Record (NQA-1-1989)

CCP CY 2014 Surveillance/Assessment Schedule

NWP QA Audit Plan, Audit E14-03

NWP QA Rolling 2-Year Independent Assessment Schedule FY 2014/2015

5. Do records of the implementation of indoctrination and training take 

the form of:

 Attendance sheets?

 Training logs?

 Personnel training records?

Y WP 13-1, Revision 34, section 1.2.2, Training

WP 13-QA.04, Revision 21, section 2.0, Training and Indoctrination

CCP-QP-002, Revision 37, section 4.1, General Training Requirements

Lead Auditor Qualification Record (NQA-1-1989)

*Y: The referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.
EPA Audit of WIPP QA Program: NWP QA 2-10

 N: The referenced documents do not adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 N/A: The specific NQA-1-1989 requirement is not applicable to the subject QA program.
EPA Audit of WIPP QA Program: NWP QA 16-1

ASME NQA-1-1989 CHECKLIST

NQA-1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Basic Requirements

1. Are conditions adverse to quality identified promptly and corrected 

as soon as practical?

Y WP 13-1, Revision 34, section 1.3.4.3, Corrective Action Planning

WP 13-QA3007, Revision 11, External Oversight Activities

WP 15-GM1002, Revision 2, Issues Management, Processing of WIPP Forms

MC 1.7, Revision 6, WIPP Form Screening Committee

CCP-PO-002, Revision 27, section 5.3, Quality Improvement

DOE Order O 232.2

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

2. In the case of a significant condition adverse to quality, is the cause 

of the condition determined and corrective action taken to preclude 

recurrence?

Y WP 13-1, Revision 34, section 1.3.4.3, Corrective Action Planning

WP 15-GM1002, Revision 2, Issues Management, Processing of WIPP Forms

CCP-PO-002, Revision 27, section 5.3, Quality Improvement 

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

3. Are the identification, cause and corrective action for significant 

conditions adverse to quality documented and reported to appropriate

levels of management?

Y WP 13-1, Revision 34, section 1.3.4.2, Significant Conditions Adverse to Quality

WP 15-GM1002, Revision 2, Issues Management, Processing of WIPP Forms

CCP-PO-002, Revision 27, section 5.3, Quality Improvement

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013
EPA Audit of WIPP QA Program: NWP QA 16-2

NQA-1 ELEMENT: No. 16, Corrective Action EPA AUDITORS: L. Bender, D Gill, K. Darlow, K, Lindblad DATE: July 2014

Does the reference document adequately define, describe, address or 

satisfy the following:

Y, N, I, 

N/A* Applicable Procedure and Paragraph; Additional Objective Evidence

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

4. Is follow-up action taken to verify implementation of corrective 

action?

Y WP 13-1, Revision 34, section 1.3.4.4, Corrective Action Follow-Up

WP 15-GM1002, Revision 2, Issues Management, Processing of WIPP Forms

CCP-PO-002, Revision 27, section 5.3, Quality Improvement

Partial list of 2014 NCR Nos. and corresponding WIPP Form Nos.

IMPS report for WIPP Forms, 1/1/2010 to 7/10/2013

Report for WIPP Forms Entered between 1/1/2014 and 7/23/2014

Inter-office Correspondence, WIPP Form 14-169 – Review for SCAQ

Copies of WIPP Form Nos. 14-111, 14-019, 14-133 and 14-200

WIPP Form Meeting agenda, 7/24/2014 at 9 A.M.

WIPP Form Committee Attendees, 7/24/2014

Supplementary Requirement – None 

*Y: The referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 N: The referenced documents do not adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 I: EPA requires additional information to determine if the referenced documents adequately define, describe, address or satisfy the NQA-1-1989 requirement.

 N/A: The specific NQA-1-1989 requirement is not applicable to the subject QA program.